DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Caprock Management, LLC

Former SEC-registered adviserBoise, IdahoCRD 171263SEC 801-79717IAPD
Latest filing Feb 22, 2022
First filing on the tape May 1, 2014 · 13 filings
RAUM
$244M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$244M as of Feb 22, 2022
Mar 30, 2015$58.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 22, 2022
Mar 30, 20150 then
Employees (5.A)3 as of Feb 22, 2022
Mar 30, 20158 then
Private funds1 as of Mar 31, 2017
Mar 30, 20152 then
RAUM +62% over the last fiscal year+45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$48.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+62%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$244M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Tcg Private Select Partners, L.P.no longer reportedOther Private Fund$33.9M63Oct 10, 2014
      Caprock Brep Vi, LLCno longer reportedPrivate Equity Fund$10.1M29Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Aaron Gregory Brown · Operating Managercontrol
        since 07/2007 · owns less than 5%
      • Gordon William Gilbert · Managercontrol
        since 07/2007 · owns less than 5%
      • Kenneth Mark Gustafson · Operating Managercontrol
        since 07/2007 · owns less than 5%
      • Richard James Rock · Managercontrol
        since 07/2007 · owns less than 5%
      • Richard Jefferson Jewell · Chief Compliance Officer
        since 09/2015 · owns less than 5%
      Entity owners
      • The Caprock Group, LLC · Sole Member Owner
        direct · owns 75% or more
      • Ta/Tcg Holdings, LLC · Owner
        indirect · owns 50% to 75% of The Caprock Group, LLC
      • Tcg Holdings, Inc. · Owner
        indirect · owns 25% to 50% of The Caprock Group, LLC
      Related persons
      Schedule D 7.A
      Advisers that list Caprock Management, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • San Jose, CA5 employees
      • Mercer Island, WA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 5
        Mar 22, 2021 to Feb 22, 2022
      • Pooled vehicle clients · 3 to 5
        Mar 22, 2021 to Feb 22, 2022
      • Discretionary RAUM · $151M to $244M
        Mar 22, 2021 to Feb 22, 2022
      • Pooled vehicle RAUM · $151M to $244M
        Mar 22, 2021 to Feb 22, 2022
      • RAUM · $151M to $244M
        Mar 22, 2021 to Feb 22, 2022
      • Discretionary RAUM · $104M to $151M
        Sep 22, 2020 to Mar 22, 2021
      • Pooled vehicle RAUM · $104M to $151M
        Sep 22, 2020 to Mar 22, 2021
      • RAUM · $104M to $151M
        Sep 22, 2020 to Mar 22, 2021
      • Accounts · 2 to 3
        Jan 24, 2019 to Feb 5, 2020
      • Pooled vehicle clients · 2 to 3
        Jan 24, 2019 to Feb 5, 2020
      • Discretionary RAUM · $80.4M to $104M
        Jan 24, 2019 to Feb 5, 2020
      • Pooled vehicle RAUM · $80.4M to $104M
        Jan 24, 2019 to Feb 5, 2020
      • RAUM · $80.4M to $104M
        Jan 24, 2019 to Feb 5, 2020
      • Discretionary RAUM · $47.6M to $80.4M
        Mar 7, 2018 to Jan 24, 2019
      • Pooled vehicle RAUM · $47.6M to $80.4M
        Mar 7, 2018 to Jan 24, 2019
      • RAUM · $47.6M to $80.4M
        Mar 7, 2018 to Jan 24, 2019
      • Accounts · 1 to 2
        Mar 31, 2017 to Mar 7, 2018
      • Advisory employees · 5 to 3
        Mar 31, 2017 to Mar 7, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 7, 2018
      • Employees · 7 to 3
        Mar 31, 2017 to Mar 7, 2018
      • Insurance-licensed employees · 7 to 3
        Mar 31, 2017 to Mar 7, 2018
      • Other offices · unset to 2.0
        Mar 31, 2017 to Mar 7, 2018
      • Private funds · 1 to unset
        Mar 31, 2017 to Mar 7, 2018
      • Discretionary RAUM · $33.9M to $47.6M
        Mar 31, 2017 to Mar 7, 2018
      • Pooled vehicle RAUM · unset to 47615978.0
        Mar 31, 2017 to Mar 7, 2018
      • RAUM · $33.9M to $47.6M
        Mar 31, 2017 to Mar 7, 2018
      • Accounts · 2 to 1
        Mar 29, 2016 to Mar 31, 2017
      • Assets in custody · 10133549.0 to unset
        Mar 29, 2016 to Mar 31, 2017
      • Custody of client assets · true to false
        Mar 29, 2016 to Mar 31, 2017
      • Employees · 8 to 7
        Mar 29, 2016 to Mar 31, 2017
      • Insurance-licensed employees · 8 to 7
        Mar 29, 2016 to Mar 31, 2017
      • Private funds · 2 to 1
        Mar 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $62.4M to $33.9M
        Mar 29, 2016 to Mar 31, 2017
      • RAUM · $62.4M to $33.9M
        Mar 29, 2016 to Mar 31, 2017
      • Assets in custody · $18.6M to $10.1M
        Sep 29, 2015 to Mar 29, 2016
      • Discretionary RAUM · $58.1M to $62.4M
        Sep 29, 2015 to Mar 29, 2016
      • RAUM · $58.1M to $62.4M
        Sep 29, 2015 to Mar 29, 2016
      • Assets in custody · $22.1M to $18.6M
        Oct 10, 2014 to Mar 30, 2015
      • Discretionary RAUM · $52.7M to $58.1M
        Oct 10, 2014 to Mar 30, 2015
      • RAUM · $52.7M to $58.1M
        Oct 10, 2014 to Mar 30, 2015
      Signals
      3 dated events
      • Richard Matthew Weatherley-White (Manager) no longer on Schedule A of Caprock Management, Llc (listed 2021-03-22, absent 2022-02-22)
        Feb 22, 2022 · Control person left · inference
      • Craig Alferd Olson (Operating Manager) no longer on Schedule A of Caprock Management, Llc (listed 2019-01-24, absent 2020-02-05)
        Feb 5, 2020 · Control person left · inference
      • Caprock Management, Llc filed its initial SEC registration (Form ADV)
        May 1, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026